Principal

🔥 0 minutes ago

🌵 Arizona – Remote

🌵 Arizona – Remote

💵 $70k / year

⏰ Full Time

🔴 Lead

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Osaic

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💸 Finance

🤝 B2B

Finance • B2B

Osaic is one of the nation’s largest providers of wealth management solutions. It is home to a diverse, service-driven community of professionals who emphasize transformative planning for the future rather than transactional approaches. With over 11,000 financial professionals and more than 270 financial institutions, Osaic manages assets exceeding $700 billion. The company offers comprehensive support and resources to help its partners enhance profitability and achieve personalized business goals. Osaic's community is built on diversity and collaboration, offering securities and investment advisory services through its broker-dealers and registered investment advisers.

📋 Description

• Engage directly with customers, including more than 11,000 Financial Professionals across the country • Perform administrative and sales support duties for Investment Executives • Verify compliance of transactions and documentation • Validate client documents for compliance, completeness, and accuracy • Handle requests via phone, Service Center, or document management system, including executing trades as needed • Follow established policies and procedures to ensure accurate execution and timeliness with market deadlines • Maintain electronic client files and documentation on proprietary web-based software • Provide highly responsive customer service and ensure client satisfaction • Suggest and implement policies and procedures based on business and regulatory changes • Determine the appropriateness of client accounts and trades • Recommend policies and procedures for approving or declining account and trade suitability • Perform other duties as assigned

🎯 Requirements

• Minimum of high school diploma or equivalent required • 1-2 years minimum of related experience • Proficiency in Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint • Excellent communication and organizational skills • Basic technical skills to navigate various systems • Strong customer focus orientation • High attention to detail, analytical mindset, and problem-solving skills • Ability to work independently and maintain elevated levels of quality • Ability to meet departmental expectations and deadlines • Ability to participate and contribute to a team environment • FINRA Series 7 & 24 license • 3+ years' experience in financial services operations or broker-dealer setting preferred • Bachelor's degree in business, Finance, or related field preferred • CRM/Salesforce experience preferred • Completion of FINRA SIE exam preferred

🏖️ Benefits

• Annual performance-based bonus • Health insurance • Vision insurance • Dental insurance • 401k • Paid time away • Volunteer days